LOCKERMAN FINANCIAL GROUP, INC

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	California, United States

Employees

Total Number of Employees	1
Investment Advisory/Research	1
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	1
Licensed Agents of an Insurance Company	1
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	241	$119.6M
Non-Discretionary	0	$0
Total	241	$119.6M

Clients

Type	Number	RAUM
Individuals	45	$14.7M
HNW Individuals	32	$104.9M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	0	$0
Charitable organizations	0	$0
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	11-25

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation	% of AUMFixed fees

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	44.3M
Portfolio Manager	0
Both for Same	0

Portfolio Manager to Program	Sponsor
ASSETMARK WRAP FEE PROGRAM	ASSETMARK BROKERAGE, LLC

Identifiers

SEC RIA File Number	801-122651
SEC ERA File Number	801-122651
SEC CIK Numbers	1906539
SEC CRD Numbers	316860
Legal Entity Identifier	None

Principal Office

4695 MACARTHUR COURT
SUITE 490
NEWPORT BEACH
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic